Broker-Dealer Firms
98 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Leerink Partners LLC CRD: 39011 | MA | 6 | 11 | C | Active |
| Level Markets, LLC CRD: 171752 | MA | 0 | 2 | A | Active |
| Lockebridge Partners, Inc CRD: 143163 | MA | 0 | 2 | A | Active |
| Locust Walk Securities, LLC CRD: 156174 | MA | 0 | 2 | A | Active |
| Loomis Sayles Distributors, L.P. CRD: 41795 | MA | 0 | 7 | A | Active |
| LYNCH & Associates CRD: 140762 | MA | 0 | 4 | A | Active |
| Manulife John Hancock Brokerage Services LLC CRD: 150842 | MA | 0 | 3 | A | Active |
| MEC Global Partners LLC CRD: 305000 | MA | 0 | 2 | A | Active |
| MFS Fund Distributors, Inc. CRD: 31052 | MA | 1 | 13 | B | Active |
| Mirus Securities, Inc. CRD: 29075 | MA | 0 | 2 | A | Active |
| MML Distributors, LLC CRD: 38030 | MA | 3 | 8 | B | Active |
| MML Investors Services, LLC CRD: 10409 | MA | 28 | 3,871 | B | Active |
| MML Strategic Distributors, LLC CRD: 168638 | MA | 1 | 9 | B | Active |
| Monument Group, Inc. CRD: 36399 | MA | 0 | 2 | A | Active |
| Moors & Cabot, Inc. CRD: 594 | MA | 34 | 38 | B | Active |
| Morgan Partners LLC CRD: 164032 | MA | 0 | 2 | A | Active |
| N.E. Private Client, Ltd CRD: 136058 | MA | 1 | 2 | B | Active |
| National Financial Services LLC CRD: 13041 | MA | 62 | 70 | C | Active |
| Natixis Distribution, LLC CRD: 34754 | MA | 0 | 11 | A | Active |
| Netcapital Securities Inc. CRD: 329071 | MA | 0 | 1 | A | Active |
| Nolan Securities Corp. CRD: 27984 | MA | 4 | 2 | B | Active |
| Northern Capital Securities Corporation CRD: 40659 | MA | 0 | 7 | A | Active |
| Outcome Capital, LLC CRD: 100960 | MA | 0 | 3 | A | Active |
| P G Boole, LLC CRD: 137920 | MA | 0 | 2 | A | Active |
| PCF Capital Markets LLC CRD: 290765 | MA | 0 | 2 | A | Active |
| Powder Point Financial LLC CRD: 145199 | MA | 0 | 2 | A | Active |
| Race Rock Capital LLC CRD: 153363 | MA | 0 | 3 | A | Active |
| Santander Securities LLC CRD: 41791 | MA | 19 | 422 | B | Active |
| Sentinel Securities, LLC. CRD: 110942 | MA | 1 | 3 | B | Active |
| Shasta Partners, LLC CRD: 124358 | MA | 0 | 2 | A | Active |
| Shea & Company CRD: 150965 | MA | 0 | 2 | A | Active |
| Shields & Company, Inc. CRD: 30000 | MA | 1 | 2 | B | Active |
| Silverwood Partners CRD: 115589 | MA | 0 | 2 | A | Active |
| SS&C Market Services, LLC CRD: 23568 | MA | 1 | 6 | B | Active |
| State Street Global Advisors Funds Distributors, L… CRD: 30107 | MA | 17 | 6 | D | Active |
| State Street Global Markets, LLC CRD: 285852 | MA | 4 | 4 | B | Active |
| SUN Life Institutional Distributors (U.S.) LLC CRD: 170062 | MA | 0 | 8 | A | Active |
| Tapp Engine Securities CRD: 314806 | MA | 0 | 3 | A | Active |
| THE NEW Penfacs Inc. CRD: 145584 | MA | 0 | 2 | A | Active |
| THL Capital Markets, LLC CRD: 316511 | MA | 0 | 2 | A | Active |
| Tritower Real Estate Capital, LLC CRD: 281740 | MA | 0 | 2 | A | Active |
| Tully & Holland, Incorporated CRD: 30029 | MA | 0 | 2 | A | Active |
| U. S. Boston Capital Corporation CRD: 5251 | MA | 3 | 4 | B | Active |
| Waterway Capital LLC CRD: 128212 | MA | 0 | 3 | A | Active |
| Wellesley Hills Securities CRD: 315364 | MA | 0 | 2 | A | Active |
| Wellington Funds Distributors Inc. CRD: 152768 | MA | 0 | 6 | A | Active |
| WFS, LLC CRD: 116778 | MA | 0 | 2 | A | Active |
| William O'neil Securities CRD: 894 | MA | 4 | 6 | B | Active |
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